Investment Client Services Specialist - Advisor

Summary

This position has been classified as an Access Person, which will require the reporting of your personal securities transactions.

The position is an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms.

• FINRA non-registered fingerprinted person
• WMC access person

• Resolve a variety of investment operations inquiries and escalations from home office leaders, field staff, or other team members using industry knowledge and analytical skills.
• Research and respond to client issues, including placing trades, assisting clients with system access and navigation, account maintenance, inquiries, market trend discussions, research requests, and providing investment education.
• Provide ongoing home office supervision/oversight of investment advisory accounts to ensure supervisory integrity, compliance, and fiduciary responsibilities are met.
• Promote client retention and build existing relationships through timely and accurate operational processing and service quality.
• Work with specialists, consultants, and managers to handle day‑to‑day monitoring, service level management for the call center, and daily processing work.
• Assist team members with complex case work or items beyond their knowledge base.
• Prioritize and organize responsibilities, using appropriate resources within and outside the immediate work area, and collaborate with internal customers and cross‑functional teams to resolve problems.
• Review work of office staff team members to ensure quality and accuracy; contribute input into performance evaluation process.
• Participate in and may lead process improvement, product introduction, or system enhancement across the division; assist in system testing and maintenance requiring operational expertise.
• Stay informed of industry developments, anticipate information needs, and communicate change.

• Bachelor's degree in Business or related field, or equivalent industry experience.
• Minimum of three years in an investment service or operations capacity with broad professional knowledge of the investment industry.
• Demonstrated leadership and interpersonal skills.
• Strong analytical skills and confidence to make judgments and decisions involving ambiguity.
• Excellent interpersonal and written communication skills.
• Ability to positively influence and work cooperatively with employees at all levels.
• Proactive reaction to change.
• Self‑motivated and self‑directed with the ability to manage multiple assignments with minimal guidance.
• Strong technical knowledge of operational aspects related to brokerage and advisory services/products; ability to apply knowledge across complex business areas and manage projects in a cross‑functional environment.
• Strong business acumen and ability to learn new business concepts and procedures.
• Depending on specific job responsibilities, may require a minimum of a FINRA Series 6 or FINRA Series 7.

Pay Range – Start: $49,560.00

Pay Range – End: $92,040.00

Industry Knowledge (NM), Customer Service Mindset (NM), Policy Inquiries & Complaints Management (NM), Prioritization (NM), Technical Problem Solving (NM), Process Improvement (NM), Policy & Procedure (NM), Field Consulting (NM), Cross Functional Partnering & Planning (NM), Business Acumen (NM), Consulting (NM), Compliance (NM), Customer Centricity (NM), Analytical Thinking (NM), Adaptive Communication (NM), Root Cause Analysis & Decision Quality (NM), Attention to Detail (NM), Audits (NM), Financial Services Industry Acumen (NM), Change Adaptability (NM), Customer Support (NM), Investment Management Systems (NM), Organization (NM), Investment Products (NM), Tax Awareness (NM).

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups

Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership, and continue to focus on meeting and exceeding business and personal objectives.